Search for: "Merrill Lynch, Pierce, Fenner "
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10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
25 Feb 2015, 12:50 am
” Merrill Lynch, Pierce, Fenner & Smith, Inc. v. [read post]
23 Feb 2015, 3:09 pm
The Financial Industry Regulatory Authority recently censured Merrill Lynch Pierce Fenner & Smith and fined the firm $100,000, sanctions to which the firm consented. [read post]
19 Feb 2015, 12:14 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., No. [read post]
16 Jan 2015, 6:16 am
– $4 million Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
7 Jan 2015, 7:00 am
., and Merrill Lynch, Pierce, Fenner & Smith, Inc. f/k/a Banc of America Securities LLCCase number: 13-cv-00447 (United States District Court for the Western District of North Carolina)Case filed: August 6, 2013Qualifying judgment/order: November 25, 2014 12/22/2014 3/22/2015 [read post]
3 Dec 2014, 3:33 pm
(BOAMS), and Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) (successor by merger to Banc of America Securities LLC (BAS)) (collectively, the respondents) are wholly-owned subsidiaries of Bank of America Corporation (BAC) that entered into a settlement with the SEC in connection with the with allegations made in a complaint that the SEC filed on August 6, 2013, in federal district court. [read post]
2 Dec 2014, 5:10 pm
Merrill Lynch, Pierce, Fenner & Smith, Inc., 68 Cal. [read post]
18 Nov 2014, 6:37 am
Markoski’ entered the financial industry in the early 1970’s and until 1991, Markoski worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
16 Nov 2014, 7:37 am
Bashaw started his career with Merrill Lynch, Pierce Fenner & Smith, Inc. and worked there for about two years and four months. [read post]
14 Oct 2014, 6:29 am
Pierce, Fenner & Smith Incorporated (Merrill Lynch). [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
27 Aug 2014, 6:41 am
First Community Bank had purchased asset-backed securities primarily in the form of collateralized debt obligations (CDOs) and residential mortgage-backed securities (RMBSs) from a number of entities including First Tennessee Bank, Morgan Keegan & Company, Merrill Lynch, Pierce, Fenner & Smith, Inc., Bear Stearns & Company and Sun Trust Robinson Humphrey, Inc. and Keefe, Bruyette & Woods, Inc. [read post]
17 Jul 2014, 7:18 am
On June 16, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it fined Merrill Lynch, Pierce, Fenner & Smith, Inc. $8 million for charging excessive fees relating to the sales of mutual funds in retirement accounts. [read post]
24 Jun 2014, 3:01 am
Based on this evidence Nordic maintained that, as in In Merrill, Lynch, Pierce, Fenner & Smith, Inc., 828 F.sd 1567 (Fed. [read post]
18 Jun 2014, 7:47 am
.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
17 Jun 2014, 11:27 am
Merrill Lynch, Pierce, Fenner & Smith, Inc. was fined $8 million for failing to waive mutual fund sales charges for certain charities and retirement accounts by FINRA. [read post]
9 Jun 2014, 9:28 am
The opinion of the Massachusetts Appeals Court begins: The plaintiffs appeal from the denial of their motion for sanctions against Bingham McCutchen LLP (Bingham), intervener, the law firm that defended Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
27 May 2014, 5:34 am
From November 2005, until March 2009, Schrader was associated with Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
1 May 2014, 6:40 am
As such, Claimant is liable for and shall pay to Respondent attorneys’ fees in the net sum of $32,957.00. 12-00152 Merrill Lynch International Finance, Incorporated and Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
